enforcement

FINRA to firm: Get out! FINRA to firm: Get out!

Industry

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

By James Langton |May 12, 2023

2 min read

Decision that put certain investors at head of line in Bridging receivership faces appeal Fallback Image Decorative pattern

Industry

Decision that put certain investors at head of line in Bridging receivership faces appeal

Lawyers argue that all investors should be treated equally

By James Langton |May 12, 2023

2 min read

MX fines firm for weak controls Fallback Image Decorative pattern

Industry

MX fines firm for weak controls

Laurentian Bank Securities sanctioned for supervisory shortcomings

By James Langton |May 12, 2023

1 min read

OSC suspends Emerge Canada for capital deficiency Fallback Image Decorative pattern

Products

OSC suspends Emerge Canada for capital deficiency

The Ontario Securities Commission says Emerge Canada has likely had insufficient working capital since September 2022

By Melissa Shin |May 11, 2023

5 min read